Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Scot Heffes is a financial advisor currently associated with Regions Securities LLC. Robert has been in the industry since 1990 and has held positions at various firms including CRT Capital Group LLC, Wachovia Capital Markets, LLC, UBS Securities LLC, Salomon Smith Barney Inc., Nationsbanc Montgomery Securities LLC, Salomon Brothers Inc., Montgomery Securities, Lehman Brothers Inc., Lehman Government Securities Inc., Lehman Special Securities Inc., and Salomon Brothers Inc. Robert is registered to conduct securities business in 51 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NC
04/21/2016 - Present
Regions Securities LLC (Charlotte NC)
CT
06/10/2009 - 04/18/2016
CRT CAPITAL GROUP LLC (Stamford CT)
NC
09/09/2005 - 06/03/2008
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
NY
03/23/1999 - 09/16/2005
UBS SECURITIES LLC (NEW YORK NY)
NY
09/01/1998 - 01/12/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
10/01/1997 - 10/26/1998
NATIONSBANC MONTGOMERY SECURITIES LLC (NEW YORK NY)
NY
07/29/1996 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
CA
02/18/1997 - 10/01/1997
MONTGOMERY SECURITIES (SAN FRANCISCO CA)
NY
01/25/1993 - 08/12/1996
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
08/04/1993 - 10/23/1995
LEHMAN GOVERNMENT SECURITIES INC.
NA
08/04/1993 - 07/18/1994
LEHMAN SPECIAL SECURITIES INC.
NY
09/19/1989 - 01/29/1993
SALOMON BROTHERS INC. (NEW YORK NY)
BC
Issued 10/11/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/31/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 06/27/2019
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/16/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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